Exemption from the Corporate Financing Rule for Interval Funds

The NASD, through its wholly-owned subsidiary NASD Regulation, Inc., is filing with the SEC proposed rule changes to Rules 2710 and 2830 of the Conduct Rules of the Association.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 69 KB
Amendment No. 1 to Proposed Rule ChangePDF - 55.92 KB
Amendment No. 2 to Proposed Rule ChangePDF - 15.8 KB
Federal Register NoticePDF - 126.04 KB
Response to CommentsPDF - 10.59 KB
Approval OrderPDF - 127.07 KB